Jerry W. Hatfield

FIRST WESTERN SECURITIES

Denison, TX 75020

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CRD#: 1776071

Professional summary

Jerry Wayne Hatfield is a registered financial professional currently at FIRST WESTERN SECURITIES, INC. located in Denison, Texas.

Jerry is registered as a RR (Registered Representative) and started their career in finance in 1995. Jerry has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerry Wayne Hatfield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 6, 2021 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 207 N. Fannin Ave, Denison, TX 75020

RIA

CRD#: 19537

Denison, TX

Past

November 2, 2018 - June 2, 2021

OSAIC WEALTH, INC.

CRD#: 23131

DENISON, TX

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

DENISON, TX

Past

October 14, 2003 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

DENISON, TX

Past

March 1, 1996 - August 25, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 11, 1995 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Oklahoma
(8/9/2021)

Texas
(8/8/2021)

Exams

State Security Law Exam

Series 63

Date: 9/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/8/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.

CRD#: 19537 / SEC#: 801-70430, 8-37613

RIA

Registered Investment Advisory firm - SEC (6/18/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/15/2013 Approved)

California

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

669 Airport Freeway #409 Suite 409, Hurst, TX 76053

Mailing Address

669 Airport Freeway #409, Hurst, TX 76053

Phone number

(817) 553-1492

Established

Texas since 03/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIRST WESTERN SECURITIES VOTING TRUST	VOTING TRUST
FERGUSON, RANDAL EARL	PRESIDENT/CHIEF COMPLIANCE OFFICER	859884
KILPATRICK, BRYAN CRAIG	CFO/FOP	1278558

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 41,715,412

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Jerry W. Hatfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerry Wayne Hatfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1995

SIE

Date: 10/1/2018

Series 6

Date: 9/8/1995

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST WESTERN SECURITIES, INC.

TRUST BUT VERIFY

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